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Stephen Richard Smith

SIGNIFICANT WEALTH PARTNERS LLC·CARY, Illinois
Series 65Clean record9 years registeredSIGNIFICANT WEALTH PARTNERS LLC
117 W. MAIN ST., CARY, IL 60013CRD# 6713437Firm CRD# 293060

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Stephen Richard Smith · CARY, IL
Registration
CRD #6713437 · SIGNIFICANT WEALTH PARTNERS LLC · 9 years registered
Brand Profile
Not yet started
01

Career History

STEPHEN SMITH FINANCIAL INC.
Dec 2025 – present
AE WEALTH MANAGEMENT, LLC
Nov 2025 – Apr 2026
Schaumburg, IL
WEALTH BUILDER FUNDS LLC
Jan 2024 – Nov 2025
CARY, IL
SIGNIFICANT WEALTH PARTNERS LLC
Jul 2018 – Jan 2026
CARY, IL
CAPITAL MANAGEMENT CONSULTANTS
Oct 2016 – Feb 2024
HAWTHORN WOODS, IL
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · October 27, 2016
Years registered · 9
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SIGNIFICANT WEALTH PARTNERS LLC
CRD 293060 · SEC 801-128037
AUM
$210M
Regulatory assets under management
Employees
7
439 client accounts
Services offered by SIGNIFICANT WEALTH PARTNERS LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Charitable organization or education services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at SIGNIFICANT WEALTH PARTNERS LLC →
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05

Frequently Asked Questions

What services does Stephen Richard Smith offer?
Stephen Richard Smith specializes in Financial Planning, Investment Management. Contact their office in CARY, Illinois for a consultation.
What are Stephen Richard Smith's credentials?
Stephen Richard Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Stephen Richard Smith located?
Stephen Richard Smith is based in CARY, Illinois, working with SIGNIFICANT WEALTH PARTNERS LLC. Their office serves clients in the CARY metropolitan area and surrounding communities.
How does Stephen Richard Smith charge for services?
Stephen Richard Smith's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SIGNIFICANT WEALTH PARTNERS LLC?
SIGNIFICANT WEALTH PARTNERS LLC has approximately 7 employees and manages $210M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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